Lawrence Donald Smith
Professional Summary
Lawrence Donald Smith, who also goes by Larry Smith, was a registered financial advisor. Lawrence was a previously registered financial professional and started their career in finance 1983 - 2021. Lawrence had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Larry Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
Contact Information
Main Address
1745 S. Naperville Road Suite 200, Wheaton, IL 60189Phone Number
(630) 653-1400# of Employees
405SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
81,900AUM (Assets Under Management)
$12,750,129,748Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1983About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2004About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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